Compliance Officer

1 week ago

Vashi Navi Mumbai Maharashtra, India First Global Securities Pvt Ltd Full time

**JOB TITLE: Compliance Officer**

**Should have worked and supervised on the following processes**:
Segregation and Monitoring of Collateral of client level,

Well versed with the exchange compliances with regard to Stockbroking. Major areas of work involve NSE Compliance Related Work, i.e. Internal Audit Report, Net-worth Certificate, RBS, Settlement of Accounts, Enhanced Supervision, Statement of Holding, Payin-Payout Shortage Report, Uploading of clients mapped with Authorized Persons (AP), client level Cash and Cash Equivalent Balances and Bank account balances, KRA and CKYC etc.

Handling independently various Exchange Inspections, SEBI Inspections, and System Audits & SEBI Internal Audit (Back Office Operations) (Domestic Trade Settlement)

Daily, Weekly, Monthly, quarterly, Half Yearly and Yearly all submission in Member Portal. Timely submission of all reports.

Registration and Cancellation of Authorized Persons (AP). Conducting Authorized Persons (AP) Inspection.

On ENIT Member Portal, CTCL and NEAT ID Creation and Cancellation.

Co-ordination with Back-Office Staff. Reporting to HOD.

Maintaining All Records Regarding DIS, DRF, Pledge and Un-pledge, POA, Nominee & All.

Online Custodian STP, Custodian related back-office work.

Uploaded Enhanced Supervision (half yearly)

Details Of Client Assets in NSE BSE MCX ICEX (Weekly / Monthly)

Standard Holding Report uploaded in NSE BSE.

Organizing for settlement obligation for NSE and BSE Cash Segment and F&O segment.

**Additional Skill Sets**:

- Self-confidence, self-motivated and positive minded.
- Conduct a high level of dependability & trust.
- Meeting people and maintaining good interpersonal relationship.
- Strong Communication skills.
- Judgmental and Problem Solving.
- Planning and organizing.

Pay: ₹25,000.00 - ₹35,000.00 per month

Schedule:

- Day shift

Ability to commute/relocate:

- Vashi, Navi Mumbai, Maharashtra: Reliably commute or planning to relocate before starting work (required)

**Education**:

- Bachelor's (preferred)

**Experience**:

- total work: 3 years (preferred)

**Language**:

- English (preferred)

Work Location: In person

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